Keith Walker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Keith Walker, who also goes by Keith William Walker, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1996. Keith had worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2021 - July 26, 2024
TD PRIVATE CLIENT WEALTH LLC
March 9, 2021 - July 26, 2024
TD PRIVATE CLIENT WEALTH LLC
July 5, 2016 - March 4, 2021
SANTANDER SECURITIES LLC
June 29, 2016 - March 4, 2021
SANTANDER SECURITIES LLC
June 30, 2015 - February 22, 2016
FIRST CITIZENS SECURITIES CORPORATION
July 16, 2004 - March 19, 2009
IRONSTONE SECURITIES, INC.
June 29, 2004 - June 21, 2016
FIRST CITIZENS INVESTOR SERVICES, INC.
June 29, 2004 - June 21, 2016
FIRST CITIZENS INVESTOR SERVICES, INC.
May 3, 2002 - June 29, 2004
BB&T INVESTMENT SERVICES, INC.
January 7, 2002 - June 29, 2004
BB&T INVESTMENT SERVICES, INC.
December 6, 2000 - January 10, 2002
FIRST CITIZENS INVESTOR SERVICES, INC.
January 3, 1997 - December 7, 2000
BB&T INVESTMENT SERVICES, INC.
January 12, 1996 - January 2, 1997
EDWARD JONES
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
